A guide to the Regional Movement Alert System

A guide to the Regional Movement Alert System Business Mobility Group January 2007

Foreword The timely access of information is critical in the fi ght against terrorism and transnational crime and to prevent other people from entering economies fraudulently. For effective international security, there must be a conscious move from the need to know to the need to share, as no government can deal with border security issues alone. Collaboration with other governments in the accessing of passport data is one very effective means to improve border integrity and combat identity fraud. These efforts can also assist in managing the increasing number of international travellers. With more than three million lost and stolen passports recorded against APEC member economies there is a strong need to identify and develop practical solutions to address this. The Regional Movement Alert System (RMAS) helps governments detect and prevent the use of lost, stolen and otherwise invalid passports. RMAS is a world fi rst in the real-time accessing of lost and stolen passport data in a multilateral environment. It allows participating APEC economies to improve border control and passenger facilitation without needing to pool data in a central database or provide direct connections to each other s databases. Enhancements to RMAS which are currently underway will further contribute to international security by enabling authorities to identify and take out of circulation counterfeit passports. Positive Validation will confi rm that a passport is valid. The system s ability to facilitate this type of access is one of the key features distinguishing RMAS from other systems compiling lost and stolen passport data. I recommend this guide to help member economies better understand RMAS and its future possibilities and to encourage participation in this important counter-terrorism initiative. Vincent McMahon Convenor of the APEC Business Mobility Group

Table of Contents Overview Chapter 1 An Introduction to RMAS 7 A Short History of RMAS RMAS Objective RMAS Guiding Principles System Overview RMAS Pilot Findings Benefi ts of RMAS Chapter 2 Joining RMAS 17 The Multilateral Framework A Case Study from Australia - Developing Memoranda of Understanding Chapter 3 Building RMAS 23 Project Management The Requesting Economy The Document Issuing Authority Chapter 4 Connecting RMAS 27 Communication Links Security Multilateral Testing Chapter 5 Supporting RMAS 33 24/7 Operational Support Standard Operating Procedures A Case Study from Australia - Providing DIA 24/7 Operational Support Chapter 6 RMAS Vision 45 Expanding RMAS Glossary 49

Overview This Guide provides information on the Regional Movement Alert System (RMAS) and explains: the benefi ts of RMAS lessons learned from the operation of the multilateral RMAS pilot between Australia, the United States and New Zealand the design and operation of RMAS requirements for any economy seeking to join RMAS the potential future expansion and enhancement of RMAS. The following overview is intended to assist readers to navigate this Guide. Chapter One An Introduction to RMAS begins with a short history of the RMAS project and the principles which have shaped its development. It also includes a high-level description of the system and the lessons learned from the operation of the pilot. Chapter Two Joining RMAS answers some of the big picture questions about what is required to join RMAS. It also includes a case study from Australia on developing Memoranda of Understanding. Chapter Three Building RMAS discusses the importance of effective project management and provides information on building the technical components necessary to join RMAS. Chapter Four Connecting RMAS focuses on the steps involved in connecting to RMAS and provides information on communication lines, testing and security. Chapter Five Supporting RMAS describes what is involved in implementing and supporting RMAS, including the role of 24/7 Operational Support Offi ces and Standard Operating Procedures. Chapter Six RMAS Vision presents a future vision of RMAS and its potential to expand through possible system enhancements. The Glossary defi nes terms used throughout this Guide.

Understanding the Context for this Guide This Guide is part of the APEC Business Mobility Group project, Capacity Building Regional Movement Alert System (RMAS). The project directly addresses APEC Leaders and Ministers Declarations in 2005 and 2006, endorsing the expansion of RMAS. The key objective of this Guide is to enhance economies understanding of RMAS and the supporting Multi-Lateral Framework, governance issues and the operational and technical requirements for participation in RMAS. It is envisaged that economies can use this information to determine their strategic and operational position with respect to joining RMAS.

AN INTRODUCTION TO RMAS Chapter 1 AN INTRODUCTION TO RMAS Contents A Short History of RMAS RMAS Objective RMAS Guiding Principles System Overview RMAS Pilot Findings Benefi ts of RMAS

A SHORT HISTORY OF RMAS October 2003 May 2004 November 2004 APEC Leaders agree to explore the development of a regional movement alert system and instruct offi cials to assess the feasibility of a pilot system. The APEC Business Mobility Group endorses Guiding Principles for the development of RMAS. Australia and the United States present APEC Leaders with the results of a proof of concept investigation into the feasibility of implementing RMAS. APEC Ministers task Australia and the United States with developing a RMAS pilot in 2005, initially using lost and stolen passport information held by these two economies. September 2005 November 2005 March 2006 August 2006 September 2006 Australia and the United States launch the RMAS pilot. Australia and the United States present a RMAS pilot evaluation report to APEC Leaders and Ministers. APEC Leaders praise the trial RMAS system and welcome its expansion in 2006. APEC Ministers instruct offi cials to examine the legal issues associated with other economies joining RMAS in future. New Zealand joins the RMAS pilot. Eighteen economies attend the RMAS Workshop in Thailand to learn about the technical, operational and legal requirements for participation. Based on the success of the pilot system, the Business Mobility Group endorses its development to a fully operational system. The Business Mobility Group endorses the RMAS Multilateral Framework. The RMAS Management Board holds its inaugural meeting in Vietnam. November 2006 January 2007 APEC Ministers and Leaders recognise the pilot as a world fi rst in real-time multilateral accessing of travel document data. They welcome the completion of a multilateral framework to enable the expansion of RMAS and encouraged further members to consider participation. RMAS becomes a production quality system and work commences on enhancing RMAS to enable positive validation of passports. A guide to the Regional Movement Alert System 7

RMAS OBJECTIVE The principal objective of RMAS is: To strengthen the collective capacity of participating APEC economies to detect lost, stolen and otherwise invalid documents and to monitor the movements of people of known or suspected security concern and, if necessary, prevent them from boarding flights travelling to participating economies. As a fi rst step, RMAS is focussed on detecting lost, stolen and otherwise invalid passports. In this area alone RMAS is making a signifi cant contribution to the security of people across the region. 8 A guide to the Regional Movement Alert System

RMAS GUIDING PRINCIPLES To ensure that RMAS develops in accordance with its objective, and the vision of the APEC Business Mobility Group, Guiding Principles were developed at the out-set of the project. The Business Mobility Group endorsed the following Guiding Principles in May 2004. 1. The scope of RMAS and its data should focus on enhancing counter-terrorism capacities of participating economies. 2. RMAS design and operation will not affect the essential rights of a participating economy to determine who is permitted to enter the economy and on what basis they are permitted to enter. 3. Ownership and visibility of shared alert data would be vested in the economy that has provided that data. 4. Participating economies should not be able to use RMAS to monitor nationals of other participating economies without the express permission of that economy. 5. Privacy laws of each participating economy will be satisfied. 6. The operating system could be built and deployed so that it operates seamlessly with the departure control systems of airlines flying to participating economies. 7. The operating system would be built and deployed so that it complements and, if possible, is interoperable with, the existing border management systems of participating economies or other regional or multilateral systems developed for purposes of enhancing border security. 8. Ultimately travel should be able to be monitored on a real-time rather than ex-post basis. A guide to the Regional Movement Alert System 9

THE RMAS SYSTEM The RMAS system is made up of the following components: Requesting Economy the RMAS Broker Document Issuing Authority. ECONOMY 1 ECONOMY 2 DOCUMENT ISSUING AUTHORITY REQUESTING ECOMOMY RMAS BROKER DOCUMENT ISSUING AUTHORITY REQUESTING ECOMOMY Diagram 1 Relationship between Requesting Economy, Document Issuing Authority and the RMAS Broker Requesting Economy The Requesting Economy (RE) is the system component that performs the function of requesting information about a passport. Each economy has a Requesting Economy. RMAS Broker The RMAS Broker is the central hub that exchanges messages between Requesting Economies and Document Issuing Authorities. The RMAS Broker: Receives a passport check request from a Requesting Economy and forwards it to the Document Issuing Authority. Receives the response from the Document Issuing Authority and returns it to the Requesting Economy. 10 A guide to the Regional Movement Alert System

Document Issuing Authority The Document Issuing Authority is the system component which performs the function of checking a passport against a database of lost and stolen passports. Each RMAS economy has a Document Issuing Authority and maintains a database of its lost and stolen passports. Airline Systems Airline Systems Airline Systems OK or Not OK to board Australian APP AUS RE Passenger Data OK or Not OK to board New Zealand APP NZ RE Passenger Data US APIS System US RE Passenger Data NZ 24/7 Support Offi ce US 24/7 Support Offi ce AUS 24/7 Support Offi ces RMAS Broker AUS DIA NZ DIA US DIA 24/7 Support offi ce AUS passports NZ passports US passports Diagram 2 RMAS Multilateral Processing How does RMAS operate? This section describes how RMAS currently works with the Advance Passenger Information (API) systems operated by Australia, the United States and New Zealand. Chapter Six discusses system enhancements which will enable RMAS to link with other border management systems. Airline Departure Control System When a passenger checks in for travel, the Airline Departure Control System collects passenger data from the passport. The data is then transmitted to the destination economy s Advance Passenger Information (API) system. A guide to the Regional Movement Alert System 11

Advance Passenger Information (API) systems The destination economy s API system sends a message to the Requesting Economy. (See the Glossary for an explanation of API). Requesting Economy The Requesting Economy sends a request to the RMAS Broker. The RMAS Broker The RMAS Broker sends a request to the relevant Document Issuing Authority. For example, if the holder of a United States passport is checking in for travel to Australia, the RMAS Broker receives a request from the Australian Requesting Economy system and sends a request to the US Document Issuing Authority. Document Issuing Authority The Document Issuing Authority checks the passport against the database of lost and stolen passports and returns a response to the RMAS Broker. System notifications If the data results in a match against the lost and stolen passport database, an email is automatically sent to both the Requesting Economy and Document Issuing Authority 24/7 Operational Support Offi ces. The email informs the operators that there has been a request that has produced a Document not OK response. Both Australia and New Zealand operate interactive API systems which enable a response ( Not OK to Board ) to be returned to airlines if there is a match against the database of lost and stolen passports. In this case, the airline receives a Not OK to Board message and is directed to contact the 24/7 Operational Support Offi ce in the destination economy. For the United States, whenever the passport directive is Not OK, a message goes to the United States 24/7 Operational Support Offi ce and the United States takes appropriate action to process the passenger upon arrival at the border. 24/7 Operational Support Offices A vital component of RMAS is the interaction between each economy s operational support offi ces which operate on a 24/7 basis. The 24/7 Operational Support Offi ces enable contact between economies to clarify and manage matches against the database of lost and stolen passports and enable a course of action to be taken while ensuring genuine travellers are not inconvenienced. 12 A guide to the Regional Movement Alert System

RMAS PILOT FINDINGS The system operating between Australia, the United States and New Zealand until January 2007 was the pilot version of RMAS, although the system has operated in a live environment since it began in September 2005. The purpose of the pilot was to test whether it was possible to establish connections between economies to access data on lost and stolen passports in real-time. The pilot proved that such a system is possible and at the same time enabled Australia, the United States and New Zealand to identify and resolve any technical or operational issues associated with RMAS. Real-time access to passport data The RMAS pilot proved that it is possible to establish connections between economies to check lost and stolen passport data in real-time. Seamless operation with border management systems The pilot demonstrated that RMAS can operate seamlessly with existing border management systems. Australia, New Zealand and the United States operate different versions of API systems and the pilot operated well within the response times required for each respective system to function effectively. System design issues did arise during the course of the pilot. As a result design improvements have been identifi ed and implemented. Effective support The pilot showed that RMAS matches could be managed effectively through interactions between each economy s 24/7 Operational Support Offi ces. Standard Operating Procedures to support the management of matches worked well with minimal disruptions to business processes. Up-to-date information The pilot showed that the design of RMAS ensured that the data accessed was the most current information available. Protection of privacy The pilot demonstrated that both the privacy of an individual s information and the right of governments to make decisions on who crossed their borders was protected. A guide to the Regional Movement Alert System 13

Importance of ongoing cooperation between economies To design and build a system that interconnects with airline departure control systems and different border systems in less than nine months is testament to the close cooperation between economies on this project. Australia, the United States and New Zealand regularly engage in face-to-face meetings and teleconferences to discuss and resolve a range of issues including design, operating procedures and system testing. The resolution of these issues and the valuable lessons learned in the process have opened the way for other economies to enjoy the benefi ts of RMAS. 14 A guide to the Regional Movement Alert System

BENEFITS OF RMAS 1. Greater Security Lost and stolen passports provide criminals and terrorists with the opportunity to steal another person s identity, to travel illegally and to commit other crimes. Accurate and up-to-date lost and stolen passport data is a valuable tool for governments in combating terrorism, illegal immigration and transnational crime. RMAS provides greater safety for airline passengers, crew and the people of participating economies by enabling border authorities to detect lost and stolen passports before the person using the passport travels to or enters the economy. 2. Business as usual RMAS complements and is interoperable with existing border management systems. Australia, New Zealand and the United States operate different API systems: RMAS interacts with all. Importantly, this means no new business processes for border authorities. Similarly, RMAS operates seamlessly with relevant airline systems. This means no new steps for airlines. 3. Information Accessed NOT Exchanged The RMAS Broker is like a switchboard, routing requests and responses between Requesting Economies and Document Issuing Authorities. The advantage of this is that data is accessed and NOT exchanged ensuring that each agency controls how much it will tell another agency and only the minimum information necessary is disclosed. A guide to the Regional Movement Alert System 15

4. Data is up-to-date The design of RMAS enables data on lost, stolen and otherwise invalid passports to be accessed in real-time, without the necessity of pooling data in a central database. In keeping with the RMAS Guiding Principles, this design ensures that information accessed is the most current data available. 5. Not just a technical solution RMAS notifi es 24/7 Operational Support Offi ces when a passport matches against the database of lost and stolen passports. The 24/7 Operational Support Offi ces enable offi cers to engage each other to ensure that passengers are processed effectively and effi ciently. Just how much information is disclosed is a matter for each economy to decide in line with their privacy laws. 6. Greater focus on facilitating genuine travellers Automated checking for lost and stolen passports enables governments to focus their resources on other aspects of border control and facilitation. For example, checking for lost and stolen passports from other economies with secure passport databases and identity assurance processes allows governments to focus on passports from higher-risk countries. 16 A guide to the Regional Movement Alert System

Chapter 2 JOINING RMAS JOINING RMAS Contents The Multi-Lateral Framework A Case Study from Australia - Developing Memoranda of Understanding

THE MULTILATERAL FRAMEWORK Any APEC economy is welcome to participate in RMAS provided it has the necessary operational, technical and legal framework in place. The Multilateral Framework sets out the legal and operational requirements for joining RMAS. Technical requirements for joining RMAS are discussed in Chapters Three and Four of this Guide. In summary, to join RMAS, each economy needs: 1. A database of lost, stolen and/or otherwise invalid passports that can be electronically accessed in real-time. 2. Legal and privacy authorisation enabling the data to be accessed. 3. Communication links to and from the RMAS Broker. 4. A 24 hour, 7 days a week (24/7) Operational Support Offi ce to verify RMAS notifi cations in real-time. 5. Mutually agreed upon Standard Operating Procedures describing the process for handling RMAS notifi cations. A guide to the Regional Movement Alert System 17

Multilateral Framework key documents The Multilateral Framework (MLF) is supported by a number of key documents which describe how RMAS is managed and which set out the operational and technical requirements for RMAS. MLF Principles Economy MOU Management Board Governance Charter Standard Operating Procedures Technical Specifications Diagram 3: Multilateral Framework Key Documents Multilateral Framework Principles The Multilateral Framework Principles guide how information should be managed under RMAS, including how data on lost and stolen passports should be used and protected. The principles also set out each economy s responsibilities to ensure the integrity and security of RMAS. Economy MOU RMAS is based on a network of arrangements between participating economies and for RMAS to work most effectively economies are encouraged to allow each participating economy to electronically access its passport data. It is up to each participating economy, however, to determine which economies are allowed to access their passport data. To simplify matters, a model bilateral Memorandum of Understanding (MOU) has been developed, which economies may wish to use as a basis for their arrangements with other economies. The model MOU is an example only and does not prevent economies from developing other means of coming to a mutually agreeable arrangement. 18 A guide to the Regional Movement Alert System

Management Board Governance Charter RMAS is a major APEC counter-terrorism project involving many different member economies. Because the aim is to expand RMAS to include more member economies over time, arrangements need to be in place to ensure that RMAS is managed or governed in a way that best refl ects the needs of its members. The Governance Charter includes the principles, responsibilities and processes of the RMAS Management Board. The role of the Management Board is to provide strategic direction for RMAS and develop guidelines on the administration and operation of RMAS. The Board also sets clear standards through which the operation of RMAS can be measured. Standard Operating Procedures To work properly RMAS needs the support of people and processes to ensure that RMAS notifi cations are handled appropriately and to ensure that genuine travellers are not inconvenienced. The Multilateral Framework is supported by Standard Operating Procedures which detail the operational actions of each participating economy to ensure consistent treatment of each other s citizens. Chapter Five of this Guide contains more information about Standard Operating Procedures. Technical Specifications The RMAS technical specifi cations detail the hardware, software, and other technology and communications facilities for RMAS. An overview of the technical aspects of RMAS can be found in Chapters Three and Four of this Guide. A guide to the Regional Movement Alert System 19

A CASE STUDY FROM AUSTRALIA - DEVELOPING MEMORANDA OF UNDERSTANDING Australia has Memoranda of Understanding (MOUs) in place with both New Zealand and the United States to enable the accessing of passport information and to increase Australia s capacity to detect and prevent the misuse of those documents. Each MOU sets out the type of data that may be accessed, the purpose for which the data may be accessed and the measures which must be taken to protect data. Under each MOU: Only the minimum necessary data is disclosed. That is, only data required to verify the validity of a passport presented by an intending passenger is accessed. Each economy commits to protect the other s information in the same manner as it maintains information concerning its own citizens/nationals. Lessons learned Interagency cooperation Interagency cooperation within each economy is an important element in developing MOUs. In Australia s case, the passport database is owned and maintained by the Department of Foreign Affairs and Trade (DFAT), while the Department of Immigration and Multicultural Affairs (DIMA) is the primary user of the data for the purpose of RMAS. In addition to meetings and teleconferences with the United States and New Zealand, DFAT and DIMA liaise regularly to ensure a consistent whole-of government position. As a fi rst step, economies wishing to join RMAS should identify the agency/ agencies responsible for owning and maintaining passport data and the agency/agencies responsible for using the data as part of immigration processing. Regular meetings and teleconferences will ensure that the MOU process remains on track. Each economy should establish a list of key contact people who can be consulted throughout the process.

Reviewing existing legislation Australia conducted a review of its migration and passport related legislation to ensure that there was suffi cient legal and privacy authorisation for passport data to be accessed through RMAS. In many cases, economies already provide other governments or law enforcement agencies with lost and stolen passport data and there will already be suffi cient legislation in place to allow this data to be electronically accessed through RMAS. For some economies, changes to existing legislation may be required. As a further preparatory step, economies considering joining RMAS should review existing domestic legislation, including privacy laws, to determine whether changes may be required to allow passport data to be accessed through RMAS.

Chapter 3 BUILDING RMAS Contents BUILDING RMAS Project Management The Requesting Economy The Document Issuing Authority

PROJECT MANAGEMENT RMAS is a multilateral system. Every participating economy must build specifi c components that are part of its border management system and are connected to the RMAS Broker. When a new economy joins RMAS, the process of integration must be carefully managed. All existing participating economies have a role to play to enable the successful integration of a new economy. Communication between the economies participating in this multilateral system must be carefully coordinated through project management. A high-quality project management plan is the key to successful coordination and communication between participating economies. Experience with existing participating economies shows that it is essential for a new participating economy to employ a dedicated project manager to plan, oversight and coordinate integration of systems and business processes with RMAS. A well-planned and managed project minimises disruptions and should ensure a smooth integration into RMAS. The project manager in each new participating economy will work closely with the project managers of the existing participating economies, and with Australia, the Broker Administrator, responsible for all integration with the RMAS Broker. This will ensure: Effective and timely communications with all participating economies and the Broker Administrator Coordination of all project activities Development and implementation of security plans Timing of project milestones for integration (i.e. multilateral testing and the signing of MOUs) Timing of project deliverables, both technical deliverables (i.e. delivery of system components or the conducting of multilateral systems testing) and documented business processes. A guide to the Regional Movement Alert System 23

What components need to be built to join RMAS? This Guide includes high-level technical information which should provide enough information to understand the basic requirements and likely impact on a joining economy. Each participating economy must build two system components: the Requesting Economy and the Document Issuing Authority. An overview of each component is provided below. These components must then be linked to the RMAS Broker to allow queries about the status of passports and responses to go to and from participating economies. All of this must be done in a way that meets security standards. Functional specifi cations and technical requirements will be provided to economies intending to join RMAS. These will include information as to how each component is expected to function. The Functional Specifi cations are presented in a manner that can be adapted to any technology. For example, they do not specify that MQ Series must or must not be used for messaging or that a UNIX operating system or server technology must be used. The Functional Specifi cations could be developed into a mainframe application if it was so desired. Many economies will have invested in specifi c development technologies such as JAVA or COBOL or employed a CASE Tool. There is no requirement to use a specifi c set of development tools, including computer languages. The Functional Specifi cations are developed so that they are not environment specifi c. 24 A guide to the Regional Movement Alert System

DOCUMENT ISSUING AUTHORITY The Document Issuing Authority (DIA) is the component of RMAS that links to the database that contains information on an economy s lost and stolen passports. DIA functions An economy s DIA system: Receives a passport check request from the RMAS Broker Checks that the request is authorised Checks the passport against the economy s database of lost and stolen passports Sends a passport check response to the RMAS Broker Sends a notifi cation to the DIA 24/7 Operational Support Offi ce if the passport is listed as lost or stolen Logs all messages Supports the generation of reports on system performance. The RMAS Process AIRPORT CHECK IN BORDER MANAGEMENT SYSTEM ECONOMY B RE RMAS BROKER ECONOMY A DIA PASSENGER CITIZEN OF ECONOMY A TRAVELLING TO ECONOMY B EMAIL NOTIFICATION EMAIL NOTIFICATION ECONOMY A LOST/STOLEN PASSPORT DATABASE ECONOMY B 24/7 OPERATIONAL SUPPORT OFFICE ECONOMY A 24/7 OPERATIONAL SUPPORT OFFICE Diagram 4 RMAS Process 26 A guide to the Regional Movement Alert System

Chapter 4 CONNECTING RMAS Contents Communication Links Security Multilateral Testing CONNECTING RMAS

COMMUNICATION LINKS Each new economy that wishes to join RMAS is required to establish an International Communication Link to the RMAS Broker. This is a dedicated physical link from the new economy s Requesting Economy to a router located within the Department of Immigration and Multicultural Affairs (DIMA) Secure Gateway, which is held within a secure facility in Australia. Coordinating the connection of the International Communications Link The new economy will need to liaise with its local international carrier to establish the international portion of the communications link and then with its local Australian communications partner to work with the DIMA telecommunications partner to establish the link to the DIMA Secure Communications Gateway. The Secure Communications Gateway houses the DIMA fi rewall and other information technology infrastructure. The new economy will also need to provide a rack and a suitable router that is to be installed within the DIMA Secure Gateway. The economy s communications link is to terminate at the router. DIMA is responsible for providing the cable that connects the economy s terminating router to the DIMA network, enabling the economy to communicate with the RMAS Broker. Australia will be unable to install this communication cable until the new economy has both Memoranda of Understanding and security approvals in place. A guide to the Regional Movement Alert System 27

Diagram 5 RMAS Communication Links 28 A guide to the Regional Movement Alert System

SECURITY Security is essential for international data protection. In order to operate a multilateral data accessing system such as RMAS it is vital for participating economies to meet international security requirements to ensure protection against unauthorised access. RMAS protects the passport data being accessed by each economy. In order to provide this protection four main design features have been implemented. The four main design features, which protect RMAS data, are: 1. A dedicated communications link using a secure Virtual Private Network (VPN) to connect an economy s systems to the RMAS Broker. 2. Encryption of the data over the dedicated link with the security of the communication lines being provided by Internet Protocol Security (IPSec) software. 3. Physical security of the new economies environment by meeting domestic and international requirements. 4. Physical security of the Broker environment provided by a secure data centre. Meeting international security requirements A new economy must attain a minimum level of security in order to connect its own systems to the RMAS network. These minimum security requirements will be determined within the Memoranda of Understanding discussions with each participating economy. A guide to the Regional Movement Alert System 29

MULTILATERAL TESTING Effective testing is vitally important as it is the fi nal stage before the actual integration of the new economy into RMAS. All participating economies must test that their components of RMAS can successfully transmit information to each other. Testing should accomplish two goals: 1. Deliver and deploy the highest quality system possible. 2. Reduce the required level of technical and other support (and the costs for these services) over the entire life of the system. It is much easier to solve problems as they arise in a test environment rather than in an operational environment. It is estimated that one hour of fi xing problems discovered in the testing stage can save between 100 to 1,000 hours of effort to fi x a problem once the system is in production. It is therefore very important that economies carefully plan and coordinate testing so that the maximum benefi t can be realised with the minimum expenditure of effort. This requires effi cient management as RMAS is a multilateral project where testing has to be coordinated between different economies across different time zones. This highlights the importance of having a dedicated project manager to ensure that all phases of the joining process are streamlined and coordinated with other economies. Experience with the incorporation of New Zealand into RMAS has indicated that with foresight and effective planning the required series of tests can be conducted successfully with all RMAS economies participating. 30 A guide to the Regional Movement Alert System

Testing will be conducted in four stages: 1. Unit testing: Each system component (e.g. the Requesting Economy or Document Issuing Authority) is tested to ensure that it has been designed and built to specifi cation. 2. Integration testing: The various system components are brought together and tested to ensure that they work effectively together. 3. System testing: The new system is tested to ensure that it is fully integrated into the working environment of the entire RMAS project. 4. User Acceptance Testing: This fi nal phase ensures that the end users confi rm that the system that is to be delivered is what they want. Unit and Integration testing are conducted by the new economy alone so does not require coordination with other economies. Successful testing proves the viability of both the new economy s system and its suitability for integration into RMAS. This will give political leaders the necessary confi dence to announce the incorporation of the new economy into RMAS. A guide to the Regional Movement Alert System 31

THE REQUESTING ECONOMY The Requesting Economy (RE) is the component that receives information about passports. The RE is linked to the components of an economy s border management system which require checks on passports. These system components are referred to as associated systems. For example, where an economy runs an API system which receives passport data from an airline, the API system may send the passport data to the RE so that it can be checked by RMAS. The RE must be able to receive the passport data from the associated system, send it to the RMAS Broker, receive the response from the RMAS Broker and return the response to the associated system. The RE must also be able to identify any request which has been waiting too long for a response from the RMAS Broker, and return a substitute response to the associated system. RE functions An economy s RE system: Receives passport data from the economy s associated system Checks that the request is authorised Sends a passport check request to the RMAS Broker Receives a passport check response from the RMAS Broker Returns the passport check response to the economy s associated system Sends a notifi cation to the RE 24/7 Operational Support Offi ce if the passport is listed as lost or stolen Logs all messages Maintains a message expiry timer Supports the generation of reports on system performance. A guide to the Regional Movement Alert System 25

Chapter 5 SUPPORTING RMAS Contents 24/7 Operational Support Standard Operating Procedures A Case Study from Australia - Providing DIA Operational Support SUPPORTING RMAS

24/7 OPERATIONAL SUPPORT One of the requirements for an economy to participate in RMAS is to have operational support on a 24/7 basis. The 24/7 Operational Support Offi ces enable each economy to respond to, investigate and resolve RMAS notifi cations with minimal disruptions to existing business processes. Because participating economies will make entry decisions based on the data that another economy provides through RMAS, it is important that this data is accurate. By providing 24/7 operational support, economies can ensure that the data is accurate, and that further information relevant to making an informed decision can be provided. Each participating economy must have the operational support capability to perform two key functions: 1. Document Issuing Authority Operational Support: Provide an immediate response to the requesting economy on a RMAS notifi cation, including verifying the status and validity of passports. 2. Requesting Economy Operational Support: Liaise with the document issuing authority of the passport bearer to determine the validity of the document before making a decision on whether to authorise or deny uplift or entry of the passenger. A guide to the Regional Movement Alert System 33

What is the role of an Operational Support Officer? The Operational Support Offi cers are the principal contact points for the day-to-day operation of RMAS. It is important that each economy has suffi cient qualifi ed, well-trained offi cers who have the authority to provide advice, make decisions and to seek advice from a supervising offi cer for further guidance where necessary. The role of the Operational Support Offi cer varies according to whether they are providing Document Issuing Authority operational support or Requesting Economy operational support. The role of the Document Issuing Authority Operational Support Officer is to: Provide advice on the status of passports in response to queries from the Requesting Economy Operational Support Offi ce. Ensure that genuine travellers are not unnecessarily hampered in their travel due to a RMAS notifi cation occurring because of an airline data error. Provide any relevant additional information, such as the name and date of birth of the person the passport was issued to and the number of any replacement passport issued, to assist the Requesting Economy Operational Support Offi cers to make an informed decision. Where appropriate, request that the passport be impounded and returned to the economy that issued the document. 34 A guide to the Regional Movement Alert System

The role of the Requesting Economy Operational Support Officer is to: Liaise with the Document Issuing Authority Operational Support Offi ce to establish whether a passport is valid. Monitor RMAS notifi cations and, where necessary, contact or prepare for possible involvement at the port of entry or transit port. Upon request from the Document Issuing Authority Operational Support Offi ce, liaise with the port of entry to, where possible, impound fraudulent or invalid passports and return them to the economy that issued the document. Notify the Document Issuing Authority Operational Support Offi ce of the decision to permit or deny their citizen entry and whether the passport was seized or impounded. Each participating economy maintains control over who crosses their borders and it is up to each participating economy to decide how much information it provides to any other participating economy. What kinds of situations do Operational Support Officers deal with? RMAS aims to detect travellers attempting to use a lost or stolen passport when they are not the genuine holder of that passport. To date, Australia, New Zealand, and the United States have found that in the majority of cases RMAS notifi cations have occurred on genuine travellers who have reported their passport as either lost or stolen. This has provided a number of different situations that Operational Support Offi cers have had to deal with, for example: Travellers have presented a passport which they have previously reported lost instead of the new passport they have been issued. For example, a traveller may mistakenly pick up their recovered passport instead of their newly issued passport. Travellers have presented their previously reported lost passport because it had a valid visa attached to it. In each of the above situations, Operational Support Offi cers need to be able to provide advice and additional information to allow a decision to be made regarding what course of action should be taken, including whether the passport should be impounded. A guide to the Regional Movement Alert System 35

What does a RMAS notification look like? The following emails are examples of the type of RMAS message notifi cations Australia receives. It is up to each economy to develop the format of their RMAS notifi cations. Email to DIA 24/7 Operational Support Office RMAS@immi.gov.au Monday 13 Feb 2006 watch.offi ce@dfat.gov.au A passenger intending to travel to the United States of America has tendered what appears to be an INVALID passport L1234567. The USA request message was received by the Australia DIA on: 20/11/2006 19:30:37 GMT. Email to RE Operational Support Office rmal@immi.gov.au RMAL Notifi cation Monday 13 Feb 2006 EOC@immi.gov.au Date/Time of Request: Date/Time of Response: Mon 13 Feb 2006 19:30:37 GMT Mon 13 Feb 2006 19:30:39 GMT Issuing State/Passport: USA / 111111111 Direction: International fl ight: Check-in: Inbound HNL / SYD HNL / HA451 / Mon 13 Feb 2006 19:28:07 GMT Trans-Border: SYD / HA451 / Tue 14 Feb 2006 20:40 Expected: SYD / HA451 / Tue 14 Feb 2006 20:40 APP Response: APP Rule: APP Error: CNTACT 24/7 Operational Support Offi ce Foreign passport, known to DIMA, valid visa RMAL Document Directive: Passport is not valid RMAL Document Status: RMAL Status Description: 36 A guide to the Regional Movement Alert System

STANDARD OPERATING PROCEDURES When a 24/7 Operational Support Offi cer receives a message notifi cation, their actions are guided by Standard Operating Procedures which have been developed and agreed upon by the participating economies. The purpose of the Standard Operating Procedures is to facilitate communication between participating economies and resolve RMAS notifi cations. The following diagrams and explanatory notes describe the agreed RMAS Standard Operating Procedures where the Requesting Economy operates a noninteractive API system. Economies may fi nd it useful to tailor these procedures to refl ect their own border management systems and local supplement these procedures with their own more detailed local operating procedures. A guide to the Regional Movement Alert System 37

1. RE receives RMAS match 2. RE sends a notifi cation to the RE 24/7 operational support 3. DIA sends notifi cation to DIA 24/7 operational support 4. DIA 24/7 operational support verifi es the status of the passport 5. DIA 24/7 operational support liaise with RE 24/7 operational support. 6. RE 24/7 operational support notifi es/liaises with Port of Entry 11. Passport NOT Lost or Stolen 7. Passport IS Lost or Stolen RE Port of Entry determines whether passenger is genuine holder upon arrival 9. Genuine Holder of Passport 8. Non-Genuine Holder of Passport 11a. RE 24/7 operational support notifi es RE Port of Entry that match is due to an error 11b. Passenger proceeds to entry processes 9a. Can Passport be revalidated? RE 24/7 operational support confi rms with DIA 24/7 operational support 9b. DIA 24/7 operational support decides if passport can be revalidated and advises RE 24/7 operational support 9c. RE 24/7 operational support advises RE Port of Entry 8a. Contact relevant RE law enforcement agency Entry Approved 10. RE Port of Entry makes entry decision Entry Refused 12. RE Port of Entry seizes/impounds passport if applicable 13. RE Port of Entry notifi es RE 24/7 operational support of action taken 14. RE 24/7 operational support notifi es DIA 24/7 operational support of what action taken Diagram 6 RMAS Standard Operating Procedures for Requesting Economies operating non-interactive API systems. 38 A guide to the Regional Movement Alert System

Explanatory Notes for API Standard Operating Procedures* 1. RE receives RMAS match 2. RE system sends a notification to the RE Operational Support 3. DIA system sends a notification to the DIA Operational Support 4. DIA 24/7 Operational Support verifies status of the passport 5. DIA 24/7 Operational Support liaise with RE Operational Support 6. RE 24/7 Operational Support notifies/ liaises with RE Port of Entry, eg, border management authorities at an international airport (proceed to either point 7 or 11) Passenger information is sent to the DIA based on API data. The passport is checked with the relevant DIA system via the RMAS Broker. If the DIA system matches a passport as lost, stolen or otherwise invalid the RE system will receive a message that the passport is Not OK. The RE system notifi cation will be automatically sent to the RE 24/7 Operational Support containing the following: The date and time of the request Passport number and issuing economy Date and time the response was received. The DIA system notifi cation will be automatically sent to the DIA 24/7 Operational Support containing the following: The date and time of the request Passport number and issuing economy Date and time the response was received. The DIA 24/7 Operational Support will manually check the passport database to confi rm whether there has been an error or the RMAS match is valid. The DIA 24/7 Operational Support will contact the RE 24/7 Operational Support with relevant information on status of passport or if an error has been identifi ed. The RE 24/7 Operational Support will contact the RE Port of Entry to notify them of a match. *Numbering refers to actions within Diagram 6 above and does not indicate the order of actions to be taken. A guide to the Regional Movement Alert System 39

7. Passport IS Lost or Stolen RE Port of Entry determines whether passenger is genuine holder upon arrival. 8. If Non-Genuine Holder of Passport 8a. Contact relevant RE law enforcement agency. 10. RE Port of Entry make entry decision (proceed to point 12) Normal processes should be followed when impostors are identifi ed. This refers to normal entry decision-making processes to determine entry or refusal of the passenger to the RE economy. 9. If Genuine Holder of Passport 9a. Can Passport be revalidated? RE 24/7 Operational Support confi rms with DIA 24/7 Operational Support. 9b. DIA 24/7 Operational Support decides if passport can be revalidated or not and advises RE 24/7 Operational Support. 9c. RE 24/7 Operational Support advises RE Port of Entry. The RE 24/7 Operational Support contacts the DIA to verify if the passport is valid. In some circumstances when a passenger has reported a passport lost, DIA 24/7 Operational Support may be able to revalidate the passport. The RE 24/7 Operational Support will contact the RE Port of Entry with confi rmed status of passport. 10. RE Port of Entry make entry decision (proceed to point 12) This refers to normal entry decision-making processes to determine entry or refusal of the passenger to the RE economy. 40 A guide to the Regional Movement Alert System

11. Passport NOT Lost or Stolen 11a. RE 24/7 Operational Support notifi es RE Port of Entry that match is due to an error. The match may be the result of a data error within the DIA passport database. 11b. Passenger proceeds to normal entry processes (proceed to point 14) 12. RE Port of Entry seizes/ impounds travel document if applicable 13. RE Port of Entry notifies RE 24/7 Operational Support of action taken 14. RE 24/7 Operational Support notifies DIA 24/7 Operational Support of what action taken This refers to normal entry decision-making processes to determine entry or refusal of the passenger to the RE economy. Seizure of passports should occur in all cases involving impostors in accordance with ICAO conventions and domestic legal requirements. In some cases DIA 24/7 Operational Support may request the RE economy to impound a passport, where possible, and return it to nearest DIA mission. This notifi cation would include whether the person has been refused or permitted entry to the RE economy and whether the passport was seized/impounded. This notifi cation would include whether the person has been refused or permitted entry to the RE economy and whether the passport was seized/impounded. A guide to the Regional Movement Alert System 41

A CASE STUDY FROM AUSTRALIA - PROVIDING DIA 24/7 OPERATIONAL SUPPORT As Australia s travel Document Issuing Authority for RMAS, the Department of Foreign Affairs and Trade (DFAT) Watch Offi ce was established in 2005 to provide 24/7 operational support functions for RMAS. The Watch Offi ce provides a team of trained operators (at least one operator on duty at all times) able to access the DFAT passport database and provide information in realtime to Requesting Economy 24/7 Operational Support Offi ces in regard to Australian passports. Key considerations: Access to passport data operators must be able to access relevant national passport databases and systems (in particular lost/stolen records) in order to confi rm status of documents to Requesting Economy Operational Support Offi ces and to provide additional information, if required, in real-time. Staff training operators need to be well-trained and qualifi ed to make appropriate decisions and provide authoritative advice to Requesting Economy Operational Support Offi ces in accordance with Standard Operating Procedures.

As on-duty staff mostly operate alone, they need to be able to exercise sound judgment and discretion, show initiative and not require close supervision. To attract suitably qualifi ed staff, including the shift-work requirements, DFAT has found it appropriate to offer additional compensation and employment benefi ts. Communications dedicated phone/fax/email facilities are essential. In Australia s case the Watch Offi ce is co-located with its 24/7 Consular Emergency Centre, which is the fi rst point of contact for after-hours consular inquiries worldwide. DFAT has found that a range of other related duties can be included within the Watch Offi ce function (at this stage passport-related matters handled by the Watch Offi ce do not fully engage one operator at all times). Other functions that are handled by the Watch Offi ce include: Acting as the initial point-of-contact for general after-hours inquiries for DFAT (except for consular assistance matters). Undertaking a number of routine passport-related functions, such as dossier checking, death registrations (passport cancelling) etc, as time permits.

Chapter 6 RMAS VISION Contents Expanding RMAS RMAS VISION

EXPANDING RMAS RMAS is designed to expand. It has grown from a bilateral system to a multilateral system in less than six months and, based on its success, the way is now open for more economies to enjoy the benefi ts of RMAS. Technological enhancements to RMAS, which are currently underway, will make it easier for APEC economies to link their existing border management systems to RMAS. Possible future enhancements, such as expanding the range of data accessed by RMAS to include biometric data and person alerts, would give economies more advanced options for using RMAS as part of border processing. Positive Validation RMAS currently operates on a negative validation model which checks if a passport is not included on the lost and stolen passport database. Positive validation enhancements to RMAS will enable passport details to be validated against a full passport database, confi rming that the passport is recognised by the Document Issuing Authority and is not lost, stolen or otherwise invalid. Under negative validation, RMAS is unable to detect counterfeit documents; provided the document is not on the lost and stolen passport database, RMAS does not return a match. Positive validation will help participating economies to detect, and take out of circulation, counterfeit passports being used to travel between participating economies. The system s ability to facilitate this type of access is one of the key features distinguishing RMAS from other systems compiling lost and stolen passport data. A guide to the Regional Movement Alert System 45

Person Alerts One of the objectives of RMAS is to strengthen the collective capacity of participating APEC economies to monitor the movements of people of known or suspected security concern. If necessary, such people could be prevented from boarding fl ights travelling to participating economies. The information currently accessed through RMAS is limited to data about the passport. In future, system enhancements could see an expanded range of data being accessed through RMAS, including each participating economy s person alerts. When a person checks in, RMAS could check the passport biodata against the person alert list at the place of nationality. Depending on the type of alert and whether an economy operates an API or APP system, the person could then be prevented from boarding a plane to the destination economy or intercepted upon arrival at the destination economy. Biometric Data RMAS could potentially be expanded to provide access to more comprehensive data, including biometric information (such as digitally stored passport photos). When a person checks in for travel, their passport photo and possibly other biometric data could be checked against the biometric database of the Document Issuing Authority. This would enable border authorities to detect impostors and to take photo-substituted passports out of circulation. More uses for RMAS RMAS is currently used at the time of check-in. The benefi ts of expanding the range of data automatically accessed by RMAS would be maximised by integrating RMAS checks into different layers of border management; that is, from visa issue through to border processing, including: at visa issue, extension or change of status at border crossings during secondary screening. 46 A guide to the Regional Movement Alert System

Using RMAS as part of the visa process would ensure that a passport is valid before making a visa decision. RMAS checks at border crossings could identify passports that have been reported lost or stolen since the bearer began their travel to an economy, or while they were in the economy. This would reduce the possibility of illegal trade or use of those documents. Using RMAS as a secondary screening tool would enable authorities to check that a document was not reported lost or stolen en route. Integrating RMAS into these different stages of border management could make RMAS an even more powerful counter-terrorism tool and enable authorities to focus resources on other aspects of border control and passenger facilitation. Conclusion RMAS is designed specifi cally for border-control purposes. Its unique design enables full integration with each participating economy s existing border systems. The mutually agreed standard operating procedures enable the resolution of RMAS notifi cations with minimal disruption to existing border processes. RMAS is a world-fi rst in the near-instantaneous automated checking of passport data. Its greatest achievement is that it accesses passport data at its source. This means that the data is the most up-to-date available and that each economy has control over how much information it makes available to other participating economies. Participation in RMAS represents a tangible commitment to regional security goals. RMAS is already making a signifi cant contribution to improving security in the Asia-Pacifi c region and its benefi ts will be multiplied as more economies participate in this important initiative. A guide to the Regional Movement Alert System 47